FINRA Appoints Nathaniel Stankard as Senior Advisor to the CEO

WASHINGTON – The Financial Industry Regulatory Authority (FINRA) has announced the appointment of Nathaniel Stankard as Senior Advisor to the CEO, effective immediately. In his new position, Stankard will provide counsel and strategic advice to President and CEO Robert W. Cook and FINRA’s senior management, and will assist with special projects.

“Nathaniel brings broad experience working on critical policy issues and I am delighted that he is joining FINRA to help in its important mission of protecting investors and the integrity of our markets,” said Cook. “Nathaniel’s deep background across both the public and private sectors makes him an outstanding addition to the FINRA team as we undertake a strategic review of our operations.”

Stankard previously was Deputy Chief of Staff for Policy at the U.S. Securities and Exchange Commission (SEC). He initially joined the SEC in the role of Counsel to the Director of the Division of Trading and Markets. Prior to joining the SEC, Stankard worked as an executive director for Morgan Stanley and as an associate at the law firm of Cleary Gottlieb Steen & Hamilton LLP.

“FINRA performs a vital role in protecting investors,” said Stankard. “I look forward to working closely with Robert and the entire team to advance FINRA’s essential work of providing effective and efficient oversight of securities firms and markets.”

FINRA is dedicated to investor protection and market integrity. It regulates one critical part of the securities industry – brokerage firms doing business with the public in the United States. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.